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This role applies business acumen to promote a culture of compliance, identification, escalation and timely mitigation of compliance risks.
Create and maintain a regulatory inventory.
Update relevant policies to ensure they reflect regulatory requirements for the Front Line Unit and Control Function.
Contribute to compliance risk assessments, monitoring and testing coverage plans and related metrics.
Monitor and test the effectiveness of the compliance risk controls.
Identify, aggregate, report and escalate compliance risks, issues and control enhancements.
Assist in the execution of governance and management routines.
Identify compliance training needs and inspect third party participation in the Front Line Unit and Control Function.
Assist with preparations for regulatory exams and audits.
Ensure commitments made regarding actions in response to Matters Requiring Attention are completed.
Escalate regulatory relations concerns to the Compliance Manager or the appriopriate party.
Minimum 5 years of relevant Investment Banking & Capital Markets Compliance experience.
Relevant working experience in HKMA and SFC is a plus.
Ability to demonstrate good knowledge and experience in dealing with various regulatory framework in various jurisdictions in APAC
Bachelor's Degree or Equivalent experience
If you are interested in this position, or would like to explore other opportunities within banking and finance technology, please send your detailed resume to Melanie.Chow@bahpartners.com for a confidential discussion.